Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel Dioguardi, Laura M. High, Kirk William HighRBC Capital Markets, LLCCitigroup Global Markets Inc.02-11-2009
Beth Ann JohnsonRBC Capital Markets, LLCMorgan Stanley$1005-11-2018
Scott Mosle WaltmonRBC Capital Markets, LLCPiper Jaffray & Co.$1002-17-2015
Thomas Curts SmithRBC Capital Markets, LLCCovenant$1001-03-2014
Karen Renee ShawRBC Capital Markets, LLCMorgan Stanley$2508-30-2016
George Eugene Peacock IIIRBC Capital Markets, LLCEdward Jones$2508-07-2015
Patrick Arthur Easter, Terry Alan Sherman, John Joseph RiffleRBC Capital Markets, LLCMorgan Stanley$2502-10-2014
Andrew Jeff PickettRBC Capital Markets, LLCCitigroup Global Markets Inc.$2501-30-2009
Harold Louis Green Jr.RBC Capital Markets, LLCRaymond James & Associates, Inc.$5004-22-2019
Ramakrishna GaliRBC Capital Markets, LLCUBS Financial Services Inc.$5001-31-2019
John Neale McIntyreRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$5008-26-2016
Kent Roger SnodgrassRBC Capital Markets, LLCFSW Advisory Services Inc.$5010-02-2015
Edward Kessler NeuhausRBC Capital Markets, LLCHilltop Securities Inc.$5008-17-2015
Robert Leroy StraightRBC Capital Markets, LLCUBS Financial Services Inc.$5001-10-2014
Nancy Shatto MurrayRBC Capital Markets, LLCCitigroup Global Markets Inc.$5004-17-2009
David Glenn MillerRBC Capital Markets, LLCCitigroup Global Markets Inc.$5004-08-2009
Dennis Dingman HobbsRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
Daniel Lord AustinRBC Capital Markets, LLCRaymond James & Associates, Inc.$10004-09-2018
David Hyun Chul KoRBC Capital Markets, LLCUBS Financial Services Inc.$10001-14-2016
Kelly Dodson KerrRBC Capital Markets, LLCUBS Financial Services Inc.$10001-10-2014
John Alan PendergrastRBC Capital Markets, LLCRaymond James & Associates, Inc.$10006-03-2013
Don C ReynoldsRBC Capital Markets, LLCRaymond James & Associates, Inc.$10005-07-2012
John Marshall TerryRBC Capital Markets, LLCCitigroup Global Markets Inc.$10003-18-2009
Robert Joseph FreyRBC Capital Markets, LLCMorgan Stanley$15005-11-2018
Robert Brian CordiakRBC Capital Markets, LLCJ.P. Morgan Securities LLC$15007-20-2015
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Showing 26 to 50 of 56 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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